Displaying 8291 - 8300 of 9026 Results
April 19, 2001
On May 7, 2001, the Order Audit Trail System (OATS) will be instituting functionality that provides member firms with control of who submits OATS data on firms’ behalf. This document includes instructions on to how to build a header record, as well as how to create/maintain the relationships between the firm and its Order Sending Organizations (OSOs).
With the new functionality,
The Product Suitability section of the 2017 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
529 Plans
Regulatory Notice
Notice Type
Guidance
Suggested Routing
Compliance
Legal
Registered Representatives
Senior Management
Key Topics
529 Plans
Share Classes
Suitability
Supervision
Referenced Rules & Notices
MSRB Rule G-19
MSRB Rule G-27
INFORMATIONAL
Certificates Of Deposit
SUGGESTED ROUTING
KEY TOPICS
Executive Representative
Legal & Compliance
Trading
Operations
Senior Management
Long-Term or Brokered Certificates of Deposit
Executive Summary
Members increasingly have been offering to customers a number of non-traditional certificate of deposit (CD) products. Typically, these products are long-term CDs
Customers to Receive Approximately $12 Million in Restitution. Firm Fined $2.3 Million; President and Head Trader Fined and Suspended.
ACTION REQUESTED
Interfering With Customer Account Transfers - Proposed Interpretive Material
Comment Period Expires: July 6, 2001
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Registered Representatives
Senior Management
Training
Account Transfers
Employment Disputes
Injunctions
Executive Summary
NASD Regulation, Inc. (NASD Regulation) is
INFORMATIONAL
Disciplinary Decisions
Effective Date: July 10, 2000
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Disciplinary Decisions
Interpretive Material 8310-2
Executive Summary
The National Association of Securities Dealers, Inc. (NASD®) publishes disciplinary decisions that meet certain criteria; these criteria are outlined in Interpretative
INFORMATIONAL
Municipal Fund Securities
SUGGESTED ROUTING
KEY TOPICS
Executive RepresentativesInstitutionalLegal & ComplianceOptionsSenior Management
Investment CompaniesMunicipal Fund Securities/529 PlansSales Material
Executive Summary
NASD recognizes that the market for municipal fund securities, particularly Section 529 college savings plan securities, continues to evolve
NASD Will No Longer Impose Censures For Some Violations
Suggested Routing
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered Representatives
Registration
Research
Syndicate
Systems
Trading
Training
Variable
The provisions of the three quote rule apply to transactions in foreign securities executed on a foreign exchange for member customers.